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Results: 1-10 of 1,261

SEC Proposes Expanding Safe Harbor to Promote Research on Investment Funds
  • Mayer Brown LLP
  • USA
  • May 24 2018

On May 23, 2018, the Securities and Exchange Commission (the “Commission”) proposed establishing a research report safe harbor (Rule 139b) for


SEC Requests Comments On Bitcoin-Related ETF Rules
  • Drinker Biddle & Reath LLP
  • USA
  • April 30 2018

The Securities and Exchange Commission (SEC) recently called for public comment on two proposed rule changes to the Chicago Board Options Exchange


House Passes Alleviating Stress Test Burdens to Help Investors Act, Which Would Exempt Mutual Funds and Investment Advisers from Dodd-Frank Stress Testing Requirements
  • Vedder Price PC
  • USA
  • April 16 2018

On March 20, 2018, the U.S. House of Representatives passed a bill, referred to as the Alleviating Stress Test Burdens to Help Investors Act (the


SEC Liquidity Rule Guidance and Rulemaking - A More Flexible Approach
  • Dechert LLP
  • USA
  • April 5 2018

Adopted by the U.S. Securities and Exchange Commission (SEC) in 2016, Rule 22e-4 under the Investment Company Act of 1940 (Liquidity Rule) has


Under Advisement: SEC Scrutinizes Wealth Management Industry
  • Cadwalader Wickersham & Taft LLP
  • USA
  • March 21 2018

Recent events have made it clear that there is an increased regulatory focus on the conduct of investment professionals in the wealth-management


New SEC Enforcement Initiative Encourages Advisers to Self-Report Mutual Fund Share Class Violations
  • Baker & Hostetler LLP
  • USA
  • February 22 2018

On February 12, 2018, the Division of Enforcement of the U.S. Securities and Exchange Commission (“SEC”) announced a new initiative to encourage


SEC’s share class selection disclosure initiative: what’s next
  • Eversheds Sutherland (US) LLP
  • USA
  • February 22 2018

On February 12, 2018, the Division of Enforcement of the US Securities and Exchange Commission (SEC) announced the Share Class Selection Disclosure


SEC Launches Self-Reporting Initiative for Mutual Fund Share Classes
  • Morgan Lewis & Bockius LLP
  • USA
  • February 21 2018

The US Securities and Exchange Commission's Division of Enforcement announced that it will not recommend monetary penalties against investment


SEC Share Class Selection Disclosure Initiative to Encourage Self-Reporting
  • Drinker Biddle & Reath LLP
  • USA
  • February 20 2018

On February 12, 2018, the U.S. Securities and Exchange Commission (SEC) announced a “Share Class Selection Disclosure Initiative” (“SCSD Initiative”


Court of Appeals Decision: Managers of Open-Market CLOs Not Subject to Dodd-Frank Risk Retention
  • Cadwalader Wickersham & Taft LLP
  • USA
  • February 15 2018

On February 9, 2018, a three-judge panel of the U.S. Court of Appeals for the District of Columbia Circuit unanimously ruled in favor of the Loan